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Xavier Allen

Ameriprise Financial Services, LLC
17 Years of Experience
Syosset, NY
2 DisclosuresBroker
View SEC Summary
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Xavier Allen is a registered investment advisor at Ameriprise Financial Services, LLC, based in Syosset, NY, with 17 years of industry experience. Xavier is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6900 Jericho Tpke, Ste 201, Syosset, NY, 11791

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
December 2019
Financial
September 2017
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Xavier works for Resource Management Partners, meeting with clients, dedicating about a quarter of his time to this role. He also coaches a 10th-grade girls' travel basketball program, spending a few hours per week on this activity.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
November 2023 - Present · 2 yrs 11 mos
Ameriprise Financial Services, LLC
September 2015 - Present · 11 yrs 1 mo
Ameriprise Financial Services, LLCBroker
September 2015 - Present · 11 yrs 1 mo
Previous Registrations
Ameriprise Financial Services, LLC
April 2021 - December 2021 · 8 mos
Ameriprise Financial Services, INC.
September 2015 - December 2016 · 1 yr 3 mos
Amerivest Investment Management, LLC
August 2014 - August 2015 · 1 yr
TD Ameritrade, INC.
August 2014 - August 2015 · 1 yr
TD Ameritrade, INC.Broker
July 2014 - August 2015 · 1 yr 1 mo
Ameriprise Financial Services, INC.Broker
December 2012 - July 2014 · 1 yr 7 mos
MML Investors Services, INC.Broker
January 2009 - December 2010 · 1 yr 11 mos
Hornor, Townsend & Kent, INC.
August 2007 - January 2009 · 1 yr 5 mos
Hornor, Townsend & Kent, INC.Broker
August 2007 - January 2009 · 1 yr 5 mos
AXA Advisors, LLC
May 2007 - August 2007 · 3 mos
AXA Advisors, LLCBroker
February 2007 - August 2007 · 6 mos
State Registrations1 state
NY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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